DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
P•••••••• C••••••• L••
Latest filing Mar 18, 2026
First filing on the tape May 22, 2024 · 5 filings
SEC status approved since Jun 20, 2024
RAUM
$300M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$300M as of Mar 18, 2026
Mar 31, 2025$238M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 18, 2026
Mar 31, 20250 then
Employees (5.A)5 as of Mar 18, 2026
Mar 31, 20255 then
Private funds2 as of Mar 18, 2026
Mar 31, 20252 then
RAUM +26% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 18, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $74.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +26%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $300M, 4 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$300M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $300M for 4 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P•••••••• P•••••••• L••• | Hedge Fund | $200M | 74 | Dec 17, 2020 |
| P•••••••• Q•••••••• P•••••••• L• | Hedge Fund | $14.3M | 1 | Mar 28, 2024 |
| P•••••••• O•••••••• L••• | Hedge Fund | $10.4M | 6 | Mar 28, 2024 |
| W•• P•••••••• H•••••••• L••• | Hedge Fund | $7.9M | 3 | Jun 3, 2024 |
Owners and control persons
Schedule A and B, latest filing
- H••••• W••••••• R••••• · Managercontrolsince 04/2010 · owns less than 5%
- H••••• B••••••• L••••• · Trusteecontrolsince 02/2013 · owns F of T•• R••••••• H•••• F••••• T•••• D•••• F••••••• 1• 2•••
- H••••• W••••••• R••••• · Trusteecontrolsince 02/2013 · owns F of T•• R••••••• H•••• F••••• T•••• D•••• F••••••• 1• 2•••
- C•••• I••••• L•• · Cco/Cfosince 05/2024 · owns less than 5%
Entity owners
- T•• R••••••• H•••• F••••• T•••• D•••• F••••••• 1• 2••• · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $238M to $300MMar 31, 2025 to Mar 18, 2026
- Discretionary RAUM · $238M to $300MMar 31, 2025 to Mar 18, 2026
- Pooled vehicle RAUM · $238M to $300MMar 31, 2025 to Mar 18, 2026
- RAUM · $238M to $300MMar 31, 2025 to Mar 18, 2026
- Assets in custody · $210M to $238MDec 10, 2024 to Mar 31, 2025
- Financial planning clients · unset to Dec 10, 2024 to Mar 31, 2025
- Private funds · 4 to 2Dec 10, 2024 to Mar 31, 2025
- Discretionary RAUM · $210M to $238MDec 10, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $210M to $238MDec 10, 2024 to Mar 31, 2025
- RAUM · $210M to $238MDec 10, 2024 to Mar 31, 2025
- Accounts · 3 to 4May 22, 2024 to Jun 3, 2024
- Pooled vehicle clients · 3 to 4May 22, 2024 to Jun 3, 2024
- Private funds · 6 to 4May 22, 2024 to Jun 3, 2024
Signals
1 dated events
- P•••••••• C••••••• L•• filed its initial SEC registration (Form ADV)May 22, 2024 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Website
- p••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 415-925-9033reportedpublic record, Form ADV, Mar 18, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026